Description

Our Client is well known throughout Financial Services and Operates within the IFA Market. They are now looking to meet with an Experienced Compliance / Regulatory Consultant.

This is a Field Role and working from Home. Ideally, the Candidate will be based in the Edinburgh / Glasgow / Scotland area. Candidates with the relevant Qualifications & Experience but living outside of these areas will also be considered.

Purpose of The Role:

To proactively deliver regulatory compliance support services to meet with the firm`s risk mitigation, needs and objectives to help to deliver good customer outcomes. Identify opportunities and trends and deliver a quality service. Aim to be the market leading support services brand for directly authorised firms.

Responsibilities:

Prepare and deliver comprehensive and practical Compliance Support Services, support to clients need and objectives, to assist with the delivery of good customer outcomes.

Produce and deliver reports and action plans including practical solutions to specific business needs for clients to enable them to develop, monitor and maintain compliance standards.

Provide constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.

Develop and maintain effective and proactive working relationships with internal and external stakeholders

Maintain and develop own technical and regulatory knowledge.

Take opportunities, both reactive and proactive to assist with the development additional services and support for clients.

Support negotiation of Contract Renewals and management retention risk with internal and external stakeholders.

Support customer training/meetings at client or external premises. Representing The Group professionally at both Group and Industry events.

Actively support and engage with business projects as required by Regulatory Oversight Supervisor to meet client needs and business objectives.